Filing Details
- Accession Number:
- 0001209191-14-036013
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-05-22 07:17:02
- Reporting Period:
- 2014-05-21
- Filing Date:
- 2014-05-22
- Accepted Time:
- 2014-05-22 07:17:02
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1029730 | Ladenburg Thalmann Financial Services Inc | LTS | Security Brokers, Dealers & Flotation Companies (6211) | 650701248 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1044006 | J Richard Rosenstock | C/O Ladenburg Thalmann &Amp; Co. Inc., 4400 Biscayne Blvd., 12Th Floor Miami FL 33137 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-05-21 | 402 | $2.66 | 144,402 | No | 4 | P | Indirect | Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock |
| Common Stock | Acquisiton | 2014-05-21 | 2,598 | $2.67 | 147,000 | No | 4 | P | Indirect | Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock |
| Common Stock | Acquisiton | 2014-05-21 | 1,000 | $2.69 | 148,000 | No | 4 | P | Indirect | Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock |
| Common Stock | Acquisiton | 2014-05-21 | 1,000 | $2.72 | 149,000 | No | 4 | P | Indirect | Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock |
| No | 4 | P | Indirect | Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock |
| No | 4 | P | Indirect | Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock |
| No | 4 | P | Indirect | Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 115,000 | Direct | |
| Common Stock | 2,701,586 | Indirect | Held by The Richard J. Rosenstock Revocable Living Trust Dated 3/5/96 |
| Common Stock | 5,000 | Indirect | Held by the NFS/FMTC IRA for the benefit of Richard J. Rosenstock |
| Common Stock | 5,000 | Indirect | Held by the NFS/FMTC IRA for the benefit of Roni L. Rosenstock |
| 8.00% Series A Cumulative Redeemable Preferred Stock | 2,000 | Indirect | Held by The Richard J. Rosenstock Revocable Living Trust Dated 3/5/96 |
Footnotes
- Mr. Rosenstock is the sole trustee and beneficiary of The Richard J. Rosenstock Revocable Living Trust.
- The 8.00% Series A Cumulative Redeemable Preferred Stock is convertible into common stock at a non-fixed conversion rate in connection with a change of control as described in the issuer's Current Report on Form 8-K, filed with the Securities and Exchange Commission on May 24, 2013.
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